- Amended Statement of Ownership (SC 13G/A)
February 12 2010 - 6:09AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
Under the Securities
Exchange Act of 1934
(Amendment No. 4)*
Advanced Energy
Industries, Inc.
(Name of Issuer)
Common Stock,
$0.001 par value
(Title of Class of Securities)
007973 10
0
(CUSIP Number)
December 31,
2009
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is
filed:
o
Rule
13d-1(b)
o
Rule
13d-1(c)
þ
Rule
13d-1(d)
* The remainder of this cover page shall be filled out for a reporting persons
initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing
information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to
be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise
subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see
the Notes).
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CUSIP No.
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007973 10 0
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13G
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1
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NAMES OF REPORTING PERSONS.
I.R.S. Identification Nos. of above persons (entities only).
Douglas S. Schatz & Jill E. Schatz Family Trust
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
o
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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WYOMING
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5
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SOLE VOTING POWER
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NUMBER OF
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6,641,764
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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317,168
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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6,641,764
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WITH:
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8
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SHARED DISPOSITIVE POWER
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317,168
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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6,958,932
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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16.6%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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OO
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CUSIP No.
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007973 10 0
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13G
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1
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NAMES OF REPORTING PERSONS.
I.R.S. Identification Nos. of above persons (entities only).
Douglas S. Schatz
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
o
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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UNITED STATES
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5
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SOLE VOTING POWER
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NUMBER OF
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6,641,764
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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317,168
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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6,641,764
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WITH:
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8
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SHARED DISPOSITIVE POWER
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317,168
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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6,958,932
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|
|
10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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16.6%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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CUSIP No.
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007973 10 0
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13G
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1
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NAMES OF REPORTING PERSONS.
I.R.S. Identification Nos. of above persons (entities only).
Jill E. Schatz
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
o
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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UNITED STATES
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5
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SOLE VOTING POWER
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NUMBER OF
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6,641,764
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|
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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317,168
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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6,641,764
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WITH:
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8
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SHARED DISPOSITIVE POWER
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317,168
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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6,958,932
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|
|
10
|
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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|
o
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|
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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16.6%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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CUSIP No.
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007973 10 0
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13G
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(a)
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Name of Issuer
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Advanced Energy Industries, Inc.
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(b)
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Address of Issuers Principal Executive Offices
1625 Sharp Point Drive
Fort Collins, CO 80525
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(a)
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Name of Person Filing
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Douglas S. Schatz & Jill E. Schatz Family Trust
Douglas S. Schatz
Jill E. Schatz
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(b)
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Address of Principal Business Office or, if none, Residence
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PO Box 481
Fort Collins, CO 80522
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(c)
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Citizenship
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Douglas S. Schatz & Jill E. Schatz Family Trust Wyoming
Douglas S. Schatz United States
Jill E. Schatz United States
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(d)
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Title of Class of Securities
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Common Stock, $0.001 par value
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(e)
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CUSIP Number
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007973 10 0
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check
whether the person filing is a:
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Not applicable
Provide the following information regarding the aggregate number and percentage of the class
of securities of the issuer identified in Item 1.
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(a)
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Amount beneficially owned
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Douglas S. Schatz & Jill E. Schatz Family Trust 6,958,932
Douglas S. Schatz 6,958,932
Jill E. Schatz 6,958,932
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(b)
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Percent of class
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Douglas S. Schatz & Jill E. Schatz Family Trust 16.6%
Douglas S. Schatz 16.6%
Jill E. Schatz 16.6%
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(c)
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Number of Shares as to which such person has:
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Douglas S. Schatz & Jill E. Schatz Family Trust:
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(i)
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sole power to vote or to direct the vote: 6,641,764
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(ii)
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shared power to vote or to direct the vote: 317,168
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(iii)
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sole power to dispose or to direct the disposition of: 6,641,764
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(iv)
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shared power to dispose or to direct the disposition of: 317,168
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CUSIP No.
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007973 10 0
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13G
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(i)
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sole power to vote or to direct the vote: 6,641,764
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(ii)
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shared power to vote or to direct the vote: 317,168
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(iii)
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sole power to dispose or to direct the disposition of: 6,641,764
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(iv)
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shared power to dispose or to direct the disposition of: 317,168
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(i)
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sole power to vote or to direct the vote: 6,641,764
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(ii)
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shared power to vote or to direct the vote: 317,168
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(iii)
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sole power to dispose or to direct the disposition of: 6,641,764
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(iv)
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shared power to dispose or to direct the disposition of: 317,168
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*
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Mr. and Mrs. Schatz are trustees of a charitable foundation that is the record holder of
317,168 shares of common stock of the issuer. The two other trustees of the charitable
foundation are members of Mr. and Mrs. Schatzs immediate family. Accordingly, Mr. Schatz and
Mrs. Schatz may be deemed to share with the other trustees voting and dispositive power with
respect to the charitable foundations 317,168 shares. Mr. and Mrs. Schatz disclaim
beneficial ownership of the shares held by the charitable foundation.
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Item 5.
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Ownership of Five Percent or Less of a Class
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Not applicable.
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Not applicable.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being
Reported on By the Parent Holding Company
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Not applicable.
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Item 8.
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Identification and Classification of Members of the Group
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Not applicable.
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Item 9.
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Notice of Dissolution of Group
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Not applicable.
Not applicable.
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CUSIP No.
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007973 10 0
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13G
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the
information set forth in this statement is true, complete and correct.
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Date: February 11, 2010
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DOUGLAS S. SCHATZ &
JILL E. SCHATZ FAMILY TRUST
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By:
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/s/
Douglas S. Schatz
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Douglas S. Schatz, Trustee
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By:
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/s/
Jill E. Schatz
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Jill E. Schatz, Trustee
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By:
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/s/
Douglas S. Schatz
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Douglas S. Schatz
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By:
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/s/
Jill E. Schatz
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Jill E. Schatz
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